How to Fill Out U.S. Courts Form 113 (w/Examples) + FAQs

Form AO 113 is the federal Subpoena to Testify Before a Grand Jury, and you fill it out by entering the issuing court, the witness’s name and address, the date, time, and location of the grand jury appearance, the case number (if any), and the issuing officer’s signature, then serving it under Federal Rule of Criminal Procedure 17. A witness who ignores a properly served AO 113 risks civil contempt and confinement under 28 U.S.C. §1826, which permits jailing a recalcitrant witness for up to 18 months or the life of the grand jury, whichever is shorter.

The grand jury is a constitutional body protected by the Fifth Amendment, and its subpoena power is one of the broadest investigative tools in federal law. The Supreme Court confirmed this sweeping reach in United States v. R. Enterprises, Inc., holding that grand jury subpoenas carry a presumption of validity. That presumption shifts the burden to the recipient to prove the subpoena is unreasonable, oppressive, or seeks privileged material.

According to the Administrative Office of the U.S. Courts annual report, federal grand juries return more than 60,000 indictments each year, and each indictment is typically supported by multiple AO 113 subpoenas. That volume means thousands of Americans are served with this form annually, often with little warning and little understanding of their rights.

Here is what you will learn in this guide:

📝 How to complete every line and box on AO 113 without triggering a defect
⚖️ Which federal rules, statutes, and Supreme Court cases govern the form
🛡️ How to assert the Fifth Amendment, attorney-client privilege, and journalist privilege
🚫 Common mistakes that get subpoenas quashed or witnesses jailed
💰 Witness fees, mileage, and reimbursement under 28 U.S.C. §1821

What Form AO 113 Is and Why It Exists

Form AO 113 is the standardized federal subpoena that compels a witness to appear and give sworn testimony before a federal grand jury. The Administrative Office of the U.S. Courts publishes the template under its Director’s authority, so every U.S. District Court uses the same core layout. The form exists because the grand jury, although seated within the judicial branch, has no investigative staff of its own and relies on the U.S. Attorney’s Office to issue process in its name.

The governing rule is Federal Rule of Criminal Procedure 17(a), which says a subpoena must state the court’s name and the title of the proceeding, include the seal of the court, and command the witness to attend and testify at a specified time and place. Rule 17 also gives the clerk a duty to issue blank, signed, and sealed subpoenas to the party requesting them, who then fills in the details. That delegation is why an Assistant United States Attorney, not a judge, usually completes AO 113.

The consequence of skipping or misstating any required element is significant. A subpoena missing the seal, the court’s name, or the witness’s address can be challenged as facially defective. In a defective-subpoena scenario, the witness is not legally required to appear, but ignoring it without first moving to quash is risky. The safer path is always a written motion to quash under Rule 17(c)(2), which must show that compliance would be unreasonable or oppressive.

A common misconception is that AO 113 must be signed by a federal judge. It does not. The clerk’s signature and the court’s seal are sufficient under Rule 17, and prosecutors fill in the rest. This is why grand jury subpoenas can be issued in massive volumes without burdening Article III judges.

Who Can Issue and Serve AO 113

Only an officer of the court may issue AO 113, and in practice that means the Clerk of Court signs and seals blank forms that are then completed by an Assistant United States Attorney. Rule 17(d) lets a marshal, a deputy marshal, or any nonparty who is at least 18 years old serve the subpoena. Personal service is the federal default, although many districts permit service by certified mail or by leaving the form with a person of suitable age at the witness’s dwelling.

The plain-English meaning is that the prosecution does not need a judge’s permission to drag a witness in front of the grand jury. The consequence of improper service, however, is that the witness has a defense to contempt. If a process server hands the subpoena to a neighbor instead of the witness, the witness may move to quash for insufficient service.

A real-world example: Maria, a small-business bookkeeper in El Paso, finds an AO 113 wedged in her front door after returning from vacation. Because the form was not handed to her personally and because Texas does not allow “nail and mail” service for federal grand jury subpoenas, her attorney files a motion to quash for defective service under Rule 17. The court grants the motion, and the AUSA must reissue and properly serve the subpoena.

A common misconception is that any FBI agent can hand a witness an AO 113 on the spot. Agents may serve it, but only after the form is signed and sealed by the clerk and filled in by the AUSA. An agent cannot fill out the form in the witness’s driveway and call it valid service.

Line-by-Line Walkthrough of AO 113

Form AO 113 has a small number of fields, but each carries legal weight. The official PDF version sits on the federal forms page and is updated periodically by the Administrative Office. Below is a field-by-field guide that mirrors the current edition.

Caption: Court and District

The top of the form reads “United States District Court for the [blank] District of [blank].” You enter the federal judicial district where the grand jury sits, not where the witness lives. The plain-English explanation is that the grand jury is a creature of a specific district, and the subpoena must say so. The consequence of naming the wrong district is that the subpoena can be quashed as void, because no court outside that district has authority over the grand jury proceeding.

For example, an AUSA in the Southern District of New York writes “Southern District of New York” in the caption even if the witness lives in New Jersey. A common misconception is that the witness’s home district controls. It does not; the grand jury’s location does.

To: Witness Name and Address

The next field reads “To:” followed by the witness’s full legal name and complete street address. You should use the name as it appears on a government-issued ID and the address where the witness can actually be served. Mail-only post office boxes are disfavored because Rule 17 contemplates personal service.

The consequence of a typo or wrong address is that the witness can argue the subpoena is not directed at them. If “Jonathan A. Smith” is served on “John Smith” at the wrong house, the served person has no duty to appear. A real-world example involves James, a software engineer whose subpoena listed his old address from three years earlier; the AUSA had to reissue and re-serve after James’s lawyer raised the defect.

Place of Appearance

This field requires the courthouse address, the room or grand jury suite number, and any special entry instructions. Federal grand juries do not meet in open courtrooms; they meet in dedicated, secured rooms inside the courthouse. The plain-English point is that the witness must know exactly where to go. The consequence of a vague address is that the witness has a good-faith defense to nonappearance.

A common misconception is that grand juries meet in regular courtrooms. They do not. They meet in restricted-access rooms, and witnesses are escorted in one at a time.

Date and Time

You enter the exact date and time the witness must appear. Federal grand juries usually sit on a recurring schedule, such as Tuesdays and Thursdays. Rule 17 does not impose a specific notice period, but most districts give witnesses at least 7 to 14 days, and the Justice Manual §9-11.140 recommends reasonable advance notice.

The consequence of unreasonably short notice is a successful motion to quash. If a witness in Alaska is served on Monday for a Wednesday appearance in Washington, D.C., that timing is presumptively unreasonable.

Case Number

If the grand jury investigation has been assigned a miscellaneous or sealed case number, enter it here. Many investigations carry no public case number, and the field can be left blank or marked “Grand Jury Investigation.” The consequence of putting the wrong case number is minor, but consistency between the subpoena and any later motion to quash matters.

Issuing Officer’s Signature and Seal

The clerk’s signature and the court’s seal go in this block, along with the AUSA’s name, bar number, and contact information. Rule 17(a) requires both the seal and a signed name. The plain-English explanation is that this is what makes the document a court order rather than a letter. The consequence of a missing seal is fatal: the subpoena is not valid process.

Proof of Service

The reverse side of AO 113 contains a “Proof of Service” block where the server lists the date, time, manner of service, and witness fees tendered. Federal law requires the server to tender one day’s witness fee and mileage at the time of service under 28 U.S.C. §1821. The current statutory witness fee is $40 per day, plus mileage at the GSA POV rate.

The consequence of failing to tender the fee is that the witness can refuse to appear without risking contempt. A real-world example: Priya, a freelance accountant, was served an AO 113 with no witness fee check. Her lawyer wrote the AUSA, the appearance was rescheduled, and the fee was tendered the second time.

Three Real-World Scenarios

Each scenario below shows a typical AO 113 fact pattern paired with the legal consequence.

Witness Situation	Likely Legal Outcome
Bank custodian served with AO 113 for client wire records	Must produce records or assert customer notice under the Right to Financial Privacy Act
Target of investigation served personally and questioned about own conduct	May invoke the Fifth Amendment on a question-by-question basis
Journalist subpoenaed for confidential source identity	May challenge under DOJ media guidelines and Branzburg v. Hayes

Named Examples That Show How AO 113 Plays Out

Walking through specific people clarifies the abstract rules.

Example 1: Daniel the Corporate Custodian

Daniel is the records custodian for a Chicago logistics firm. An AUSA in the Northern District of Illinois serves him with AO 113 commanding both his testimony and the production of shipping invoices for 2023 to 2025. Because the subpoena calls for documents, it is technically a subpoena duces tecum under Rule 17(c). Daniel’s lawyer reviews the document list, redacts privileged material, and prepares a privilege log. Daniel appears, swears the documents are authentic business records under Federal Rule of Evidence 902(11), and answers limited authentication questions.

Example 2: Sofia the Target Witness

Sofia is a marketing executive whose company is under investigation for kickbacks. The AUSA serves her with AO 113 and gives her a so-called target letter under Justice Manual §9-11.151. On counsel’s advice, Sofia appears, gives her name, and then invokes the Fifth Amendment to every substantive question. Because the privilege must be asserted question by question, her lawyer prepares her with a script. The grand jury cannot draw an adverse inference, and the AUSA must decide whether to seek immunity under 18 U.S.C. §6002.

Example 3: Marcus the Reluctant Reporter

Marcus is an investigative journalist served with AO 113 to identify a confidential source. The DOJ media-subpoena rules in 28 C.F.R. §50.10 require the Attorney General’s personal approval before issuing such a subpoena to a member of the news media. Marcus’s lawyer challenges the subpoena and points to the 2022 DOJ news media policy. The court considers Branzburg v. Hayes, weighs the chilling effect on press freedom, and quashes the subpoena.

Key Federal Authorities You Must Know

The legal architecture around AO 113 spans the Constitution, statutes, rules, and case law.

Federal Rule of Criminal Procedure 17

Rule 17 is the single most important authority. It defines who issues, who serves, and how to challenge a subpoena. Rule 17(c)(2) creates the motion to quash for unreasonable or oppressive demands. Rule 17(g) authorizes contempt for disobedience.

28 U.S.C. §1826 — Recalcitrant Witnesses

Section 1826 lets a court confine a witness who refuses to testify after being granted immunity. The maximum is 18 months or the life of the grand jury, whichever is shorter. The plain-English point is that civil contempt is not “punishment” but coercion: you hold the keys to your own cell.

18 U.S.C. §6002 — Use Immunity

Section 6002 authorizes use and derivative-use immunity. After immunity is granted, the witness loses the Fifth Amendment privilege, because the testimony cannot be used against them in a later prosecution.

United States v. R. Enterprises

R. Enterprises (1991) holds that a grand jury subpoena is presumed reasonable, and the recipient must show otherwise. The Court rejected the more rigorous Nixon trial-subpoena test for grand jury practice.

Branzburg v. Hayes

Branzburg (1972) refused to recognize a First Amendment reporter’s privilege in grand jury proceedings, but its concurrence and the DOJ media guidelines provide significant practical protection.

Costello v. United States

Costello v. United States (1956) confirms that grand juries can rely on hearsay and that indictments are not subject to evidentiary review. This case explains why grand jury subpoenas are not narrowly tailored.

Privileges and Protections Witnesses Can Assert

A subpoena does not strip away rights, and the witness can assert several privileges in the grand jury room.

Fifth Amendment Privilege Against Self-Incrimination

The Fifth Amendment privilege must be asserted question by question. The witness cannot refuse to appear at all, but can decline any specific answer that might incriminate. The consequence of a blanket refusal is contempt; the consequence of properly invoking the privilege is that the AUSA may seek immunity.

Attorney-Client Privilege

The attorney-client privilege protects confidential communications made for the purpose of seeking legal advice. The crime-fraud exception, however, strips the privilege when the communication furthers ongoing or future crime, as recognized in United States v. Zolin.

Spousal Privileges

There are two spousal privileges in federal law. The testimonial privilege under Trammel v. United States belongs to the witness spouse. The confidential marital communications privilege belongs to both spouses and survives divorce.

Journalist’s Qualified Protection

Although Branzburg declined to recognize a constitutional reporter’s privilege, the DOJ media regulations at 28 C.F.R. §50.10 impose strict internal limits on subpoenas to journalists.

Witness Fees, Mileage, and Reimbursement

The federal witness-fee statute is 28 U.S.C. §1821. The flat appearance fee is $40 per day. Mileage is paid at the GSA POV rate, which the GSA updates yearly. Subsistence is paid for overnight travel at the local per diem rate.

The plain-English meaning is that the government must pay the witness, even though the witness has no choice about appearing. The consequence of failure to tender fees at service is that the witness is excused from compliance.

A real-world example: Aaron, a contractor in Boise served for a grand jury sitting in Spokane, receives the $40 fee, mileage for the round trip, and one night’s lodging per diem. If the AUSA forgets the fee, Aaron’s counsel demands it before he travels.

Mistakes to Avoid

The seven mistakes below come up often in grand jury practice.

Ignoring the subpoena rather than moving to quash, which exposes the witness to contempt under 28 U.S.C. §1826.
Bringing your lawyer into the grand jury room, which Rule 6(d) forbids; counsel must wait outside.
Asserting a blanket Fifth Amendment refusal instead of question by question, which can be treated as a waiver or as contempt.
Destroying or altering documents called for in a Rule 17(c) subpoena, which is obstruction under 18 U.S.C. §1512.
Discussing your testimony publicly or with co-witnesses, which can violate a court secrecy order even though witnesses are not bound by Rule 6(e) secrecy.
Accepting service on someone else’s behalf without authority, which exposes you to no duty but creates confusion that the AUSA can exploit.
Failing to ask whether you are a witness, subject, or target under the Justice Manual §9-11.151 categories, which determines your strategy.

Do’s and Don’ts for AO 113 Recipients

The list below pairs each instruction with the reason behind it.

Do hire counsel immediately, because federal grand jury practice is technical and unforgiving.
Do read every line of the form, because defects can support a motion to quash.
Do preserve all documents in scope, because spoliation is a separate crime under 18 U.S.C. §1519.
Do request a “queen for a day” proffer if you have useful information, because cooperation can produce a non-prosecution agreement.
Do ask the AUSA in writing whether you are a target, because that label changes everything.
Don’t lie or shade the truth, because false grand jury testimony is perjury under 18 U.S.C. §1623.
Don’t bring your phone into the grand jury room, because recording is forbidden under Rule 6(e).
Don’t waive privileges accidentally by talking to friends or co-workers about counsel’s advice.
Don’t rely on the AUSA’s casual reassurances, because the prosecutor’s job is not to protect you.
Don’t miss the appearance date, because failure to appear is contempt even if you intended to comply later.

Pros and Cons of Cooperating With AO 113

Cooperation has real benefits and real risks.

Pro: Cooperation can earn a 5K1.1 substantial assistance reduction at sentencing, which often cuts years off a federal sentence.
Pro: Voluntary appearance avoids contempt confinement under 28 U.S.C. §1826.
Pro: Cooperation builds credibility with the AUSA and may lead to a non-prosecution agreement.
Pro: A truthful witness can clear themselves quickly and exit the investigation as a non-target.
Pro: Witness fees and mileage are reimbursed under 28 U.S.C. §1821.
Con: Anything you say can be used against you unless immunity is granted under 18 U.S.C. §6002.
Con: You may waive privilege by answering certain questions.
Con: Your testimony locks you in; later trial testimony will be cross-examined against your grand jury answers.
Con: Cooperation can mark you as a witness in the criminal case, with personal-safety implications.
Con: The process is stressful and can take months or years to conclude.

State Grand Jury Subpoenas Compared to AO 113

Most states use their own forms and rules, but the structure mirrors federal practice. New York’s grand jury subpoenas are governed by Criminal Procedure Law §610. California uses Penal Code §939.2 for grand jury subpoenas. Texas authorizes grand jury subpoenas under Code of Criminal Procedure Article 20A.

The plain-English point is that state forms are not interchangeable with AO 113, and a federal AUSA cannot use a state subpoena to compel a federal grand jury appearance. The consequence of using the wrong form is dismissal of any contempt proceeding.

Recap of Key Court Rulings

The federal grand jury subpoena cases below shape every AO 113 dispute.

United States v. R. Enterprises (1991) — presumption of validity for grand jury subpoenas.
Branzburg v. Hayes (1972) — no constitutional reporter’s privilege in grand jury.
United States v. Calandra (1974) — exclusionary rule does not apply to grand jury questions.
United States v. Dionisio (1973) — grand jury subpoena is not a Fourth Amendment seizure.
Costello v. United States (1956) — grand juries may rely on hearsay.
Kastigar v. United States (1972) — use immunity is co-extensive with Fifth Amendment privilege.

Step-by-Step Process for Filling Out and Serving AO 113

The federal practice steps are predictable.

The AUSA opens an investigation and obtains a grand jury number from the clerk.
The clerk issues a blank, signed, and sealed AO 113 under Rule 17(a).
The AUSA fills in the witness’s name, address, place, date, and time of appearance.
The AUSA, marshal, or any nonparty over 18 serves the subpoena and tenders the witness fee under 28 U.S.C. §1821.
The server completes the Proof of Service block on the back of AO 113.
The witness either appears, negotiates, or moves to quash under Rule 17(c)(2).
If the witness refuses to testify after a court order, the AUSA seeks contempt under 28 U.S.C. §1826.

Motion to Quash AO 113

The motion to quash is the witness’s main defensive tool. It must be filed in the issuing district before the appearance date. The motion must show the subpoena is unreasonable, oppressive, or seeks privileged matter under Rule 17(c)(2).

The plain-English meaning is that you do not get to decide on your own that a subpoena is invalid; you must ask the court. The consequence of self-help refusal is contempt, even if the underlying objection would have been winning. In R. Enterprises, the Court held that the witness must show a lack of any reasonable possibility that the documents sought are relevant.

A real-world example: Lin, a small-business owner, files a motion to quash arguing that producing 10 years of tax records is overbroad. The court orders production limited to the three tax years actually under investigation, and Lin complies.

FAQs

Is AO 113 the same as a trial subpoena?

No. A trial subpoena uses Form AO 89 and is governed by the Nixon relevance test, while AO 113 commands grand jury testimony and is presumed valid.

Can I bring my lawyer into the grand jury room?

No. Federal Rule 6(d) excludes counsel from the grand jury room, although your lawyer may wait outside and you may step out to consult.

Do I have to answer every question after I receive AO 113?

No. You must appear, but you may invoke the Fifth Amendment, attorney-client, spousal, or other privileges question by question under the Fifth Amendment.

Will I get paid for appearing?

Yes. 28 U.S.C. §1821 requires a $40 daily fee, plus mileage at the GSA rate and per diem for overnight travel.

Can the grand jury subpoena my emails or cloud files?

Yes. Grand juries routinely subpoena electronic records, and the Stored Communications Act authorizes compelled disclosure with appropriate process.

Can I be jailed for refusing to testify?

Yes. Under 28 U.S.C. §1826, a court may confine a recalcitrant witness for up to 18 months or the life of the grand jury, whichever is shorter.

Is grand jury secrecy permanent for me as a witness?

No. Rule 6(e) imposes secrecy on grand jurors, prosecutors, and court personnel, but not on witnesses, although a court may enter a separate gag order.

Can the prosecutor lie to the grand jury?

No. Prosecutors are bound by Justice Manual §9-11.233 and ethical rules to present evidence honestly, although they need not present exculpatory material.

Do I have a right to a transcript of my testimony?

Yes. Under Rule 6(e)(3)(E), a witness may move for a transcript on a showing of particularized need, and many courts grant access to the witness’s own testimony.

Can a federal grand jury subpoena cross state lines?

Yes. Federal subpoenas have nationwide reach under Rule 17(e)(1), unlike state grand jury subpoenas, which are generally limited to the issuing state.

Will refusing AO 113 hurt me at sentencing if I’m later charged?

Yes. Failure to cooperate forecloses 5K1.1 substantial assistance reductions and can be considered when the court evaluates acceptance of responsibility.

Can I be a target and a witness at the same time?

Yes. Targets are routinely subpoenaed under AO 113, but the Justice Manual §9-11.151 requires a target warning, and counsel almost always advises invoking the Fifth Amendment.

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